custody of customer assets, derivatives broker shall arrange a system, rules or operating procedure to ensure that client’s assets are secured and completed and are segregated from its own in the manner

its custody are secured and kept in full and are segregated from its own assets in the manner that is distinguishable without any suspicion, and there shall be accurate, complete and up-to-date records

. ----------------------------- Notification of the Capital Market Supervisory Board No. Tor Thor 9/2551 Re: Custody of Client Assets of a Securities Company ________________________________________________ By Virtue of Section 16/6 and

Commission No. KorThor. 4/2543 Re: Custody of Client Assets of a Securities Company By virtue of Section 14 and Section 98(3) of the Securities and Exchange Act B.E. 2535 (1992), the Securities and Exchange

reference. 11 Notification of the Capital Market Supervisory Board No. TorThor. 43/2552 Re: Custody of Clients’ Assets by Securities Companies _________________ By virtue of Section 16/6 of the Securities and

: Clause 1. In this Notification: “Custodian agent” means the person whom the custodian appoints to be its agent in performing the duties relating to custody the assets of private fund; “Office” means the

Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved

approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person

custody of customers’ assets. (b) Undertaking derivatives business in the category of derivatives fund manager providing services for general investors. (4) ten million baht for undertaking derivatives

which are secured with collateral placed by the derivatives broker and are not under the condition allowing the creditor to call for prepayment before the maturity date, only in the portion of liabilities